Isom J. Morgan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Isom James Morgan JR, who also goes by Ike Morgan, Isom James Morgan, was a registered financial professional .
Isom is a previously registered financial professional and started their career in finance in 1987. Isom had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2006 - December 15, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 19, 2005 - December 15, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 24, 2003 - December 17, 2004
ALLSTATE FINANCIAL SERVICES, LLC
February 28, 1989 - December 9, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 22, 1987 - December 31, 1988
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
